The end of summer is being marked by expectations of a busy month. First, several rules come into effect. On September 9, swap clearing is required under the Dodd-Frank Act unless an exce...

A preliminary statement of issues filed by the National Association of Manufacturers, the Chamber of Commerce and the Business Roundtable on August 13 provided a glimpse of the arguments ...

The Investment Adviser Association (IAA) and the Investment Company Institute (ICI) have written to the SEC, arguing against the rulemaking petition submitted by the NYSE, the Society of ...

On August 19, plaintiffs Boilermakers Local 154 Retirement Fund and Key West Police & Fire Pension Fund filed a notice of appeal to the Delaware Supreme Court regarding the decision by th...

Companies listing on the NYSE in connection with an IPO, carve-out or spinoff transaction will have a one-year transition period to comply with the NYSE internal audit requirements. The S...

SEC Rules and Regulations SEC Grants No-Action Relief to Allow Registered Investment Companies to Maintain Assets with CME to Meet Margin Requirements for Additional Swaps Cleared by C...

The SEC has again decided that it needs more time before it can make a decision on a NYSE rule filing to change the fees paid by companies for proxy distribution, and has delayed its orde...

The National Association of Manufacturers, the U.S. Chamber of Commerce and the Business Roundtable have filed a notice of intent to appeal the recent D.C. District Court ruling that uphe...

Yesterday, the PCAOB proposed for public comment new auditing standards on the auditor’s report filed with the company annual report containing financial statements, generally the Form ...

The move toward stricter regulation of remuneration in the financial services industry in the European Union has resulted in a confusing web of overlapping European Directives and local E...